Dana Niles Frankfort

Dana Niles Frankfort (CRD #2243930, Registered Representative, Marina Del Rey, California) was barred from association with any NASD (and now, FINRA)member in any capacity. The NAC imposed the sanction following appeal of an OHO decision. The sanction was based on findings that Frankfort engaged in fraudulent misconduct by failing to disclose to public customers that an investment fund, that had engaged in trading and investing in put options on securities or various indices, had realized substantial market losses. The findings stated that Frankfort made an unsuitable recommendation to a public customer and engaged in private securities transactions without prior written notification to his member firm. (NASD Case #C0220040032)

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The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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